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JT

Joseph O. Troy

ICAPITAL MARKETS LLC
Greenwich, CT 06830
Some features on this profile are disabled
CRD#: 2457053
JT

Professional summary

Joseph Obrien Troy, who also goes by Joseph O'brien Troy, Joseph Obrien Troy, is a registered financial professional currently at ICAPITAL MARKETS LLC located in Greenwich, Connecticut.

Joseph is registered as a RR (Registered Representative) and started their career in finance in 1994. Joseph has worked at 10 firms and has passed the Series 63, Series 65, Series 7TO, SIE, Series 31, Series 7, Series 55 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Joseph O'brien Troy | Joseph Obrien Troy

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
ABS Investment Management; Yes - Investment related; 537 Steamboat Road, Greenwich, CT 06830; Investment; Business Development; start date 9/18/2017; 240 hours per month; 130 hours during securities trading hours; meet with existing and potential investors in an effort to raise and retain assets in ABS funds.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Joseph Obrien Troy's CRS (Customer Relationship Summary).

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Current

November 30, 2023 - Present

ICAPITAL MARKETS LLC

Office #1: 2 Greenwich Plaza 4th Floor, Greenwich, CT 06830
BD
CRD#: 118219
Greenwich, CT
Past

June 26, 2023 - November 30, 2023

ICAPITAL SECURITIES, LLC

BD
CRD#: 171061
Greenwich, CT
Past

July 15, 2021 - September 27, 2022

KARPUS INVESTMENT MANAGEMENT

RIA
CRD#: 110275
MAMARONECK, NY
Past

November 3, 2017 - March 16, 2018

DISTRIBUTION SERVICES, LLC

BD
CRD#: 25938
PORTLAND, ME
Past

December 3, 2014 - November 12, 2015

HATTERAS CAPITAL DISTRIBUTORS, LLC

BD
CRD#: 143365
RALEIGH, NC
Past

April 14, 2011 - April 16, 2014

MESIROW FINANCIAL, INC.

BD
CRD#: 2764
NEW YORK, NY
Past

January 18, 2007 - September 7, 2007

FORESIDE FUND SERVICES, LLC

BD
CRD#: 46106
NEW YORK CITY, NY
Past

January 1, 2006 - January 8, 2007

UBS FINANCIAL SERVICES INC.

BD
CRD#: 8174
WEEHAWKEN, NJ
Past

January 14, 2004 - July 28, 2004

PRUDENTIAL EQUITY GROUP, LLC

BD
CRD#: 7471
NEW YORK, NY
Past

May 11, 2000 - December 31, 2003

PRUDENTIAL EQUITY GROUP, LLC

BD
CRD#: 7471
NEW YORK, NY
Past

August 12, 1994 - May 2, 2000

MORGAN STANLEY & CO. LLC

BD
CRD#: 8209
NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Alabama
(5/31/2024)
RR
Alaska
(5/31/2024)
RR
Arizona
(5/31/2024)
RR
Arkansas
(5/31/2024)
RR
California
(5/31/2024)
RR
Colorado
(5/31/2024)
RR
Connecticut
(11/30/2023)
RR
Delaware
(5/31/2024)
RR
District of Columbia
(5/31/2024)
RR
Florida
(5/31/2024)
RR
Georgia
(5/31/2024)
RR
Hawaii
(5/31/2024)
RR
Idaho
(5/31/2024)
RR
Illinois
(5/31/2024)
RR
Indiana
(5/31/2024)
RR
Iowa
(5/31/2024)
RR
Kansas
(5/31/2024)
RR
Kentucky
(5/31/2024)
RR
Louisiana
(5/31/2024)
RR
Maine
(5/31/2024)
RR
Maryland
(5/31/2024)
RR
Massachusetts
(5/31/2024)
RR
Michigan
(5/31/2024)
RR
Minnesota
(5/31/2024)
RR
Mississippi
(5/31/2024)
RR
Missouri
(5/31/2024)
RR
Montana
(5/31/2024)
RR
Nebraska
(5/31/2024)
RR
Nevada
(5/31/2024)
RR
New Hampshire
(5/31/2024)
RR
New Jersey
(5/31/2024)
RR
New Mexico
(5/31/2024)
RR
New York
(5/31/2024)
RR
North Carolina
(5/31/2024)
RR
North Dakota
(5/31/2024)
RR
Ohio
(5/31/2024)
RR
Oklahoma
(5/31/2024)
RR
Oregon
(5/31/2024)
RR
Pennsylvania
(5/31/2024)
RR
Rhode Island
(5/31/2024)
RR
South Carolina
(5/31/2024)
RR
South Dakota
(5/31/2024)
RR
Tennessee
(5/31/2024)
RR
Texas
(5/31/2024)
RR
Utah
(5/31/2024)
RR
Vermont
(5/31/2024)
RR
Virginia
(5/31/2024)
RR
Washington
(5/31/2024)
RR
West Virginia
(5/31/2024)
RR
Wisconsin
(5/31/2024)
RR
Wyoming
(5/31/2024)

Exams

State Security Law Exam
RR
Series 63
Date: 7/7/2023
Uniform Securities Agent State Law Examination
State Security Law Exam
IAR
Series 65
Date: 7/15/2021
Uniform Investment Adviser Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 6/26/2023
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 6/1/2023
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 31
Date: 5/18/2011
Futures Managed Funds Examination
General Industry/Product Exam
RR
Series 7
Date: 4/13/2011
General Securities Representative Examination
General Industry/Product Exam
RR
Series 55
Date: 7/6/2000
Limited Representative-Equity Trader Exam
Principal/Supervisory Exam
RR
Series 24
Date: 12/30/2024
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

IM
ICAPITAL MARKETS LLC
AXIO FINANCIAL LLC | SCURA, RISE & PARTNERS SECURITIES, LLC | SCURA PARTNERS SECURITIES LLC | SCURA PALEY SECURITIES LLC | ICAPITAL MARKETS LLC

CRD#: 118219 / SEC#: , 8-53640

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information

Main Address
60 East 42nd Street 26th Floor, New York, NY 10165
Mailing Address
60 East 42nd Street 26th Floor, New York, NY 10165
Phone number
(646) 520-2020
Established
Delaware since 08/13/2001
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Medium
# of Employees

FINRA licenses (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
ICAPITAL MARKETS HOLDING LLCPARENT
GEORGE, THOMAS KEITHFINOP5378303
HOUSTON, STEPHEN HENRYHEAD OF BROKER DEALER1988668
MORGAN, COURTNEYCHIEF COMPLIANCE OFFICER6384535

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

Company Information

ICAPITAL MARKETS LLC

CRD#: 118219Greenwich, CT 06830

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